Neil M. Thom

Some features on this profile are disabled

CRD#: 1372954

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Neil Mckenzie Thom, who also goes by Neil Thom, Neil Thoma, was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1985. Neil had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Neil Thom | Neil Thoma

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) THE THOM GROUP POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2001 ADDRESS: 1457 Marsh Street #200, San Luis Obispo CA 93401, United States DESCRIPTION: 50% OWNER OF DBA USED FOR MARKETING PURPOSES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 18, 2017 - August 23, 2024

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

San Luis Obispo, CA

Past

September 15, 2017 - August 23, 2024

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

San Luis Obispo, CA

Past

July 2, 2012 - September 20, 2017

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN LUIS OBISPO, CA

Past

July 11, 2005 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN LUIS OBISPO, CA

Past

June 13, 2005 - September 20, 2017

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN LUIS OBISPO, CA

Past

January 21, 2003 - November 15, 2017

THE THOM GROUP

RIA

CRD#: 122968

SAN LUIS OBISPO, CA

Past

October 25, 2001 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

October 27, 1995 - October 29, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

September 4, 1990 - October 23, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 19, 1985 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/12/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/30/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12671 High Bluff Drive Suite 200, San Diego, CA 92130

Mailing Address

12671 High Bluff Drive Suite 200, San Diego, CA 92130

Phone number

(858) 436-3180

Established

Delaware since 07/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

622

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

Direct owners and executive officers

Name	Position	CRD#
INDEPENDENT FINANCIAL GROUP, INC.	OWNER
DAVIS, SCOTT EARLE	CFO & FINOP	7160800
DENNEN, BRIAN	CCO BROKERAGE & ADVISORY	3239786
FISCHER, DAVID ALLEN	MANAGING DIRECTOR	1634222
HEISING, SCOTT ALLEN	CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR	2192259
KEEFE, KEVIN MICHAEL	PRESIDENT, COO	1869560
KREISMAN, SARAH JILL	SVP & GENERAL COUNSEL	2671706
PEARSON, TROY DALE	ROSFP	2413897

Regulatory assets under management

Total Number of Accounts	44,046
AUM (Assets Under Management)	$ 11,322,059,063

Disclosures

Regulatory Event	15
Arbitration	2
Bond	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Neil M. Thom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

THE THOM GROUP

ROUND HILL SECURITIES, INC.

SUTRO & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1985

SIE

Date: 10/1/2018

Series 3

Date: 5/30/1986

Series 7

Date: 6/15/1985

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors